SEC Form 4 · accession 0001213900-16-017214
Phunware, Inc. · PHUN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Prokopios Akis Tsirigakis
Officer — Co-CEO, Chairman and President · Director · 10% Owner
Astra Maritime Corp
10% Owner
Dominium Investments Inc
10% Owner
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001665300
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 28, 2016 | J | 35,222 | $0.00 | D | 423,149 | I | See Footnote |
| Common StockF2 | Sep 28, 2016 | J | 41,634 | $0.00 | D | 500,176 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As contemplated in connection with the initial public offering of the issuer, 35,222 shares of common stock of the issuer were returned by Astra Maritime Corp. to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. Prokopios (Akis) Tsirigakis is the sole officer and director of Astra Maritime Corp.
- F2As contemplated in connection with the initial public offering of the issuer, 41,634 shares of common stock of the issuer were returned by Dominium Investments Inc. to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full. Prokopios (Akis) Tsirigakis is the sole officer and director of Dominium Investments Inc.